Title 12

PART 151

Part 151 - Recordkeeping And Confirmation Requirements For Securities Transactions

PART 151 - RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS Authority:12 U.S.C. 1462a, 1463, 1464, 5412(b)(2)(B). Source:76 FR 49008, Aug. 9, 2011, unless otherwise noted.

12:1.0.1.1.66.0.50.1SECTION 151.10
   151.10 What does this part do
12:1.0.1.1.66.0.50.2SECTION 151.20
   151.20 Must I comply with this part
12:1.0.1.1.66.0.50.3SECTION 151.30
   151.30 What requirements apply to all transactions
12:1.0.1.1.66.0.50.4SECTION 151.40
   151.40 What definitions apply to this part
12:1.0.1.1.66.1SUBPART A
Subpart A - Recordkeeping Requirements
12:1.0.1.1.66.1.50.1SECTION 151.50
   151.50 What records must I maintain for securities transactions
12:1.0.1.1.66.1.50.2SECTION 151.60
   151.60 How must I maintain my records
12:1.0.1.1.66.2SUBPART B
Subpart B - Content and Timing of Notice
12:1.0.1.1.66.2.50.1SECTION 151.70
   151.70 What type of notice must I provide when I effect a securities transaction for a customer
12:1.0.1.1.66.2.50.2SECTION 151.80
   151.80 How do I provide a registered broker-dealer confirmation
12:1.0.1.1.66.2.50.3SECTION 151.90
   151.90 How do I provide a written notice
12:1.0.1.1.66.2.50.4SECTION 151.100
   151.100 What are the alternate notice requirements
12:1.0.1.1.66.2.50.5SECTION 151.120
   151.120 May I charge a fee for a notice
12:1.0.1.1.66.3SUBPART C
Subpart C - Settlement of Securities Transactions
12:1.0.1.1.66.3.50.1SECTION 151.130
   151.130 When must I settle a securities transaction
12:1.0.1.1.66.4SUBPART D
Subpart D - Securities Trading Policies and Procedures
12:1.0.1.1.66.4.50.1SECTION 151.140
   151.140 What policies and procedures must I maintain and follow for securities transactions
12:1.0.1.1.66.4.50.2SECTION 151.150
   151.150 How do my officers and employees file reports of personal securities trading transactions